Company Name: tastytrade

As the Associate Compliance Officer, you will entail compliance oversight of existing firm procedures, assisting with regulatory audits and information requests, and implementing enhancements and new practices that adapt to evolving regulatory frameworks. The Associate Compliance Officer role requires a sound understanding of broker-dealer compliance obligations and related rules, a motivated work ethic and detail-oriented, analytical skillset that is adaptable for a dynamic environment.

What you’ll do:

Conduct thorough compliance oversight to enforce firm procedures
Assist and/or directly manage record productions for various regulatory audits, investigations, and inquiries
Collaborate with internal teams such as trade desk, legal, and business operations.
Uphold with the firm’s recordkeeping and documentation management practices, ensuring adherence to applicable regulatory requirements
Strong written and oral communication skills
Implement approved enhancement changes
Remain aware and communicate relevant changes in market conduct, regulations, and related industry practices

Who you are:

Active Series 7 & 63 (or 66) licenses; series 3, 4, and 24 licenses are desirable
Sound working knowledge of relevant broker-dealer regulatory frameworks
2 years or more of experience in broker-dealer compliance
Diligent, disciplined, and motivated work ethic
Excellent written and verbal communication skills, with the ability to effectively interact with internal stakeholders, regulatory authorities, external parties and customers
Collaborative and team-oriented approach, capable of working with cross-functional teams and building strong relationships across the organization

Team Perks:

Performance Bonuses
Stock Purchase Options
401k Plan
20 Paid Vacation Days (plus an additional paid vacation day the month of your birthday!)
10 Paid Sick Days
Gym Membership Reimbursement
Commuter Benefits
Pet Insurance
Wellness & Mental Health Programs
Charitable Donation Matching
Two Paid Volunteer Days Off
Daily catered lunch when in the office
Full kitchen with snacks and beverages
In-building gym
CTA stop a block away, Shuttle to/from Metra
Office located in the West Loop - Chicago's growing center of tech, great cuisine, and high-end bars

About Us:
The tasty house of brands empowers individual traders differently. tastylive, founded in 2011, is an online financial media network, tastytrade (previously known as tastyworks) is a self-directed retail brokerage firm that launched in 2017, tasty Software Solutions and tastyfx, is a registered Forex broker-dealer. In 2021, London-based IG Group acquired tastylive, Inc. (previously known as tastytrade) and assigned it to lead business in North America. tastyfx is the fastest-growing forex broker in the US over the past few years. Changing the IG US name to tastyfx marks the next chapter, in aligning with the tasty brand family and offering a more forex-focused experience. This combined team has years of experience like institutional brokers, but also a passion for disrupting the entire trading industry.   

Our dream is simple: we want more people to find more success with a better trading experience. That’s why we’re investing heavily in the right people, technology, and media to make that happen in the US and across the globe.  

Location: Our office is in the West Loop - Chicago's growing center of tech, great cuisine, and high-end bars.

tastytrade | tastylive  | tastyfx
1330 W Fulton Market, Chicago, IL 60607  

*Don't meet every single requirement? Studies have shown that women and people of color are less likely to apply to jobs unless they have every single qualification. Our team is dedicated to building a diverse, inclusive, and authentic workplace, so if you’re excited about this role but your experience doesn't align perfectly, we encourage you to apply anyway. You may be just the right candidate for this or other roles!  

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